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Mark J Leja

CFA
CRD# 4277309·Registered 2000 - 2013
Previously Registered: Being a previously registered professional could mean that Mark is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Mark J Leja, CFA was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 2000 - 2013. Mark had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Credentials

CFA
Chartered Financial Analyst

Years of Experience

25 years in the financial services industry

Current & Past Employments

GNV ADVISORS, LLC·CRD# 147286
BD
Chicago, IL
February 15, 2013 - August 15, 2013
GENEVA ADVISORS, LLC·CRD# 121629
RIA
Chicago, IL
December 10, 2012 - August 15, 2013
MORGAN STANLEY·CRD# 149777
RIA
Purchase, NY
June 1, 2009 - May 9, 2011
MORGAN STANLEY·CRD# 149777
BD
Purchase, NY
June 1, 2009 - May 9, 2011
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
Chicago, IL
September 11, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
Barrington, IL
May 18, 2004 - June 1, 2009
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Long Island City, NY
February 11, 2002 - May 12, 2004
TD AMERITRADE, INC.·CRD# 7870
BD
Omaha, NE
December 21, 2000 - August 15, 2001

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Current Firm

GA
GNV ADVISORS, LLC

GNV ADVISORS, LLC

CRD#: 147286 / SEC#: 8-67894
BD
Terminated by SEC on 01/01/2018

Contact Information

Established

Delaware since 02/06/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GENEVA HOLDING COMPANY OF CHICAGO, LLCMEMBER—
BRADY, MICHAEL STEVENFINOP5980704
BRIDGES, ROBERT CAMPBELLMANAGING MEMBER2239831
BRIDGES, THOMAS SHELBYMANAGING MEMBER3180557
HUBER, JOHN PATRICKMANAGING MEMBER2457037
NEWSOM, KURT MICHAELCHIEF COMPLIANCE OFFICER5309165
PIERCE, DAVIDCFO4556137

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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